Carl Ayers
RCW had debated the very issue decided by the court seven years ago in a story looking at whether anti-retaliation protections apply to CCOs
A FINRA proposal giving broker-dealers the flexibility to conduct remote inspections of “qualifying offices” is getting qualified support from your peers. Their question: Good start, ...
Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, ...
SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was ...
You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations. Perhaps you’ve ...
Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, ...
The latest cooperation agreement between the CFTC and the FSA has the two regulators promising to work together to spur the use of financial technology. ...
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for classification, highly ...